basics of risk management final course i
TRANSCRIPT
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Enhancing Risk Perceptionin Engineering Education
Institut National de
lEnvironnementIndustriel et des
RisquesFrance
cole NationaleSuprieure
dIngnieurs deBourgesFrance
Department ofEarth Science!niversit" of
Florence Ital"Institut National
#ol"technique de$orraine France
D% Education & 'ulture
Tempus CD-JEP 30095/2002
E nhancing R isk P erception in Engineering E ducation
Basics of Ris( )anagement'ompiled *" #ro+ect Ris( ,eam )em*er
Dr- .lim /ashem El Sa"ed
0E# 12234
Decem*er 5224
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Acknowledgement
This introductory manuscript is planned for initiating undergraduate
engineering students on the principles and basics of risk assessment.
The manuscript is divided into six chapters: chapters 1 & 2 are basic
definitions. The author, Dr. bdel lim !hashem, and "isk #ro$ect Team
are indebted to Dr. %asser l 'hayeb, ssisstant #rofessor, (ining,
#etroleum and (etallurgical ngineering Department, )*+ for
supplying the main material for )hapters and -. )hapters and / are
succinctness compiled from references cited at the end of the manuscript.
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#urpose
The purpose of this course is to provide the students with a structuredsstem for identifin! ha"ard# assessin! ris$s associated with those
ha"ards# puttin! measures to contro% the unaccepta&%e ris$s and toreview the contro% measures to ensure the are effective and have notintroduced new ha"ards' This ca%%ed (is$ )ana!ement Process
6*+ectives
*' +ssess and ana%sis ris$ in oi% and !as production operations'
2' Discuss the advanta!es# %imitations and ran!e of app%ica&i%it ofeach ha"ard ana%sis method so that its se%ection and inte!rationinto the overa%% process is fu%% understood presentin! a !enericoverview on the ha"ard identification'
3' ,+.P ana%sis and its identification'' earn the &asic voca&u%ar uni1ue to the ha"ard and opera&i%it in
industria% p%ants'5' (aise !enera% awareness of the need to app% ha"ard
identifications techni1ue# ,+.P'
' hare $now%ed!e and e4periences on ,+.P re%ated issues indifferent industria% p%ant'
' Ena&%e students to understand the impacts of industr activities onthe ,E to discuss on professiona% %eve% the &est practica%so%utions and ma$e/advise on we%% informed decisions for industractivities'
6' ,e%p participants to 7ud!e the ,E conse1uences of# and adviseon miti!atin! measures# for industr activities'
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,a*le of 'ontents0b$ectives..................................................................................................................................
ist of +igures...........................................................................................................................
ist of Tables.............................................................................................................................3)hapter 1: "isk Definition and ccident Theory.....................................................................4
1.1 Definitions........................................................................................................................4
1.2 5asics of "isk ssessment.............................................................................................12
1.2.1 "isk assessment process..........................................................................................1
1. ccident Theory.............................................................................................................1
1..1 'ingle factor theory.................................................................................................1
1..2 (ultiple factors theory............................................................................................13
1.. Domino effect theory..............................................................................................13
1..- nergy transfer theory.............................................................................................26
1.. The 7'ymptoms versus )auses8 theory .................................................................26
1.- 'tructure of ccidents ...................................................................................................21
1. The "ole of 9uman rror in ccidents.........................................................................21
1..1 The traditional concept of human error...................................................................22
1..2 )lassification of human errors................................................................................2
1.. )lassifying active failures.......................................................................................2-
1..- atent failures..........................................................................................................2/
1.. 'trategies for reducing human error........................................................................2
1../ ctions for overcoming active failures...................................................................2
1./ "easons for #reventing ccidents.................................................................................24
1./.1 (oral.......................................................................................................................24
1./.2 )osts........................................................................................................................241./. egislation...............................................................................................................1
1..- ccident trends........................................................................................................2
1. 'ummary .......................................................................................................................
)hapter 2: mportance of "isk (anagement.........................................................................-
2.1 mportance......................................................................................................................-
2.2 #rinciple of "isk (anagement.......................................................................................-
2. 9a;ard dentifications....................................................................................................
2..1 #revious accident reports........................................................................................
2..2 #hysical inspection of the
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.2 +ailure (odes, ffect and )riticality nalysis ?+()@............................................/2
.2.1 0b$ectives and domains of applications................................................................../2
.2.2 #reparation for the study and the methodology of analysis..................................../
. 9B0#........................................................................................................................../
..1 Chat is 9B0#..................................................................................................../
..2 Chen is a 9B0# )arried 0ut............................................................................./3.. 'ome #oints to Catch during 9B0#.................................................................../3
.- Chat is "isk ssessment............................................................................................./4
.-.1 ikelihood ..............................................................................................................6
.-.2 )onseEuences .........................................................................................................2
.-. "isk matrix..............................................................................................................-
.-. "isk management
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/. 'tep : "evie< %our ssessment and "evise t f Aecessary.....................................162
cronyms..............................................................................................................................16
ppendices............................................................................................................................16
ppendix 1: 'ome mportant #ieces of 9ealth and 'afety egislation.............................16
.1.1 5esides the 9ealth and 'afety at Cork ct itself, the follo
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$ist of Figures
/..................................................................................................................................................1
4................................................................................................................................................
+igure 1: lements of risk assessment.....................................................................................1
+igure 2: "isk assessment process...........................................................................................1-
+igure : "isk assessment methods..........................................................................................1
+igure -: Gas pipeline fire........................................................................................................1/
+igure : 9uman +all from a ship............................................................................................1/
+igure /: +ire in an offshore oil and gas production platform.................................................1
+igure : )auses of
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126............................................................................................................................................/6
+igure 24: #reparation of the analysis....................................................................................../-
+igure 6: +lo< chart of the method 9B0#........................................................................./
+igure 1: +ive degree probability ?likelihood@ scale..............................................................1
+igure 2: +our degree probability ?likelihood@ scale..............................................................1
+igure : +ive degree conseEuences ?severity@ scale.............................................................
+igure -: +our degree conseEuences ?severity@ scale.............................................................-
+igure : 4H4 risk matrix......................................................................................................
+igure /: "isk matrix after applying preventive measures..................................................../
+igure : 'tochastic #rocesses...............................................................................................3-
+igure 3: #arallel system of t
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Table 1-: Different states of the system...................................................................................3
Table 1: "andom observations...............................................................................................42
Table 1/: )ritical ndex of activities ?activities
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8events/ear times 8conse1uences/event# which e1ua%s8conse1uences/ear# the most tpica% 1uantitative ris$ measure'
Hazard Effect
The conse1uences# which cou%d resu%t from a ha"ard &ein! rea%i"ed
,"pes of ha9ards8:
>io%o!ica% ha"ards5acteria
Environmenta%Castes &Toxic gases
ocia% and oss of :ma!e
oss of image of department or organi;ation as a result of conditionsand ha;ards contained in the building
,umanrresponsible behaviors, being careless
)ana!eria%oss of control
E%ectrica%clectic shock could lead to fire, explosion, eEuipment failure, and
people fatalities
)echanica%(echanical failure could lead to eEuipment damage
(adiation"adioactive ha;ards
"adiation ha;ards may emanate from the use of mobile phones and
interference
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Gua%itative answers to one or more of these 1uestions are oftensufficient for ma$in! !ood decisions' ,owever# as mana!ers see$ moredetai%ed cost/&enefit information upon which to &ase their decisions# thema wish to use 1uantitative ris$ assessment efore initiatin! a ris$assessment# a%% parties invo%ved shou%d have a common understandin!of the !oa%s of the e4ercise# the methods to &e used# the resourcesre1uired# and how the resu%ts wi%% &e app%ied'
7-5-7 Ris( assessment process
To use a sstematic method to determine ris$ %eve%s# the (is$+ssessment Process is app%ied' This process consists of four &asicstepsA
*' ,a"ard :dentification2' ?re1uenc +ssessment3' Conse1uence +ssessment# and' (is$ Eva%uation
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The %eve% of information needed to ma$e a decision varies wide%' :nsome cases# after identifin! the ha"ards# 1ua%itative methods ofassessin! fre1uenc and conse1uence are satisfactor to ena&%e theris$ eva%uation' :n other cases# a more detai%ed 1uantitative ana%sis is
re1uired' The (is$ +ssessment Process is i%%ustrated in ?i!ure 2# andthe resu%ts possi&%e from 1ua%itative and 1uantitative approaches aredescri&ed' There are man different ana%sis techni1ues and mode%sthat have &een deve%oped to aid in conductin! ris$ assessments' omeof these methods are summari"ed in ?i!ure 3' + $e to an successfu%ris$ ana%sis is choosin! the ri!ht method
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countries' .ccupationa% accidents# defined as those accidents that occurat the p%ace of wor$# are a%so of ma7or concern' Each ear *60#000peop%e are $i%%ed as a resu%t of accidents at wor$# whi%st **0 mi%%ion arein7ured
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+igure /: +ire in an offshore oil and gas production platform
/eart.ttac(s;Stric(es
71reaches inthese ru%es cou%d &e accidenta%/unintentiona% or de%i&erate'
io%ations occur for man reasons# and are se%dom wi%%fu% acts ofsa&ota!e or vanda%ism' The ma7orit stem from a !enuine desire toperform wor$ satisfactori% !iven the constraints and e4pectations thate4ist' io%ations are divided into three cate!oriesA routine# situationa% ande4ceptiona% iolationsare vio%ations that are rare and happen on% inparticu%ar circumstances# often when somethin! !oes wron!' The occurto a %ar!e e4tent at the $now%ed!e &ased %eve%' The individua% inattemptin! to so%ve a nove% pro&%em vio%ates a ru%e to achieve the
desired !oa%'
*'5' atent fai%ures
atent fai%ures are the factors or circumstances within an or!ani"ationwhich increase the %i$e%ihood of active fai%ures' Consider some e4amp%esof %atent fai%ures in re%ation to the e4amp%e accidents !iven ear%ierA
The %atent fai%ures Iin!@s Cross Hnder!round tation ?ire here inc%udedA
hi%e severa% minor esca%ator fires had occurred previous% and had&een investi!ated# apparent% no one in the or!ani"ation serious%
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considered the fact that a ma7or esca%ator fire was a possi&i%it -conse1uent%# as the in1uir states# %itt%e effective action had &een ta$enon the warnin!s provided & the minor fires' imi%ar% the in1uir a%soreported that there were serious f%aws in the mana!eria% and
or!ani"ationa% responsi&i%ities and accounta&i%it for safet with virtua%%a%% aspects of the or!ani"ation thin$in! passen!er safet was some onee%se@s responsi&i%it'
The e4istence of these# and other simi%ar# %atent fai%ures within theondon Hnder!round operation si!nificant% increased the pro&a&i%it ofa ma7or esca%ator fire# with hindsi!ht it was a%most a matter of whenrather than whether' :t is a%so apparent# as su!!ested a&ove# that un%essthe remedia% action ta$en encompassed these
or!ani"ationa%/mana!ement %atent fai%ures# that a repeat event was %i$e%for# 1uite simp%# the ma7or inf%uencin! factors wou%d have remained inp%ace to predispose a simi%ar event'
*'5'5 trate!ies for reducin! human error
(educin! human error invo%ves far more than ta$in! discip%inar action
a!ainst an individua%' There are a ran!e of measures which are moreeffective contro%s inc%udin! the desi!n of the e1uipment# 7o proceduresand trainin!'
*'5' +ctions for overcomin! active fai%ures
*'5''* %ips and %apses
Desi!n improvement is the most effective route for e%iminatin! the cause
of this tpe of human error' ?or e4amp%e# tpica% pro&%ems with contro%sand disp%as that cause this tpe of error inc%udeA
witches which are too c%ose and can &e inadvertent% switched on or
off;
Disp%as which force the user to &end or stretch to read them
proper%;
Critica% disp%as not in the operators fie%d of view;
Poor% desi!ned !au!es;
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Disp%as which are c%uttered with non-essentia% information and are
difficu%t to read'
*'5''2 )ista$es
Trainin!# for individua%s and teams# is the most effective wa forreducin! mista$e tpe human errors' The ris$ of this tpe of human errorwi%% &e decreased if the trainee understands the need for and &enefitsfrom safe p%ans and actions rather than simp% &ein! a&%e to recite thesteps parrot fashion' Trainin! shou%d &e &ased on defined trainin! needsand o&7ectives# and it shou%d &e eva%uated to see if it has had thedesired improvement in performance'
*'5''2 io%ations
There is no sin!%e &est avenue for reducin! the potentia% for de%i&eratedeviations from safe ru%es and procedures' The avenues for reducin! thepro&a&i%it of vio%ations shou%d &e considered in terms of those whichreduce an individua%Qs motivation to vio%ate' These inc%udeA
Hnder-estimation of the ris$
(ea% or perceived pressure from the &oss t adopt poor wor$ practices;
Pressure from wor$-mates to adopt their poor wor$in! practices;
Cuttin! corners to save time and effort
*'5''3 +ddressin! atent ?ai%ures
The or!ani"ation must create an environment whichA
(educes the &enefit to an individua% from vio%atin! ru%es'
(educes the ris$ of an operator ma$in! s%ips/%apses and mista$es'
This can &e done & identifin! and addressin! %atent fai%ures'E4amp%es of %atent fai%ures inc%udeA
Poor desi!n of p%ant and e1uipment;
:mpractica% procedures#
:neffective trainin!;
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:nade1uate supervision;
:neffective communications; and
Hncertainties in ro%es and responsi&i%ities'
.ne of the principa% was of sstematica%% doin! this is throu!h a hea%thand safet mana!ement sstem' This is the su&7ect of the ne4t topicarea in this course'
*' (easons for Preventin! +ccidents
There are three main reasons for preventin! accidents and i%%-hea%th#these are mora%/humane# cost and %e!is%ation'
*''* )ora%
o-&od comes to wor$ to !et in7ured or to &ecome i%%' o-one %i$es!ettin! in7ured or seein! their co%%ea!ues or friends in7ured in accidents'othin! is more important than the humane aspects of accidenta% %ossAin7ur# pain# sorrow# an!uish# %oss of &od partic%es or functions#occupationa% i%%ness# disa&i%it and death' Emp%oers and emp%oees
have a mora% responsi&i%it to prevent accidents and i%%-hea%th at wor$'
*''2 Costs
hether or not peop%e are hurt# accidents do cost or!ani"ations moneand the actua% in7ur or i%%ness costs represent on% a sma%% part of thetota%' + recent stud & the ,E has shown that for ever R* of insuredcosts
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*' The e4pense and time of findin! a temporar rep%acement for thein7ured wor$er#
2' Time used & other emp%oees to assist the in7ured wor$er#3' Time used & supervision to investi!ate the mishap# preparation of
accident reports and ad7ustments made to wor$ schedu%es#' Propert dama!e to too%s# materia%s and e1uipment#5' De%as in accomp%ishment of wor$ tas$ & a !roup'
:ndirect cost e4ists# varies !reat% from case to case# and is often difficu%tto 1uantif' The main point to remem&er is that accidents are much morecost% than 7ust the &asic or direct costs'
#ropert"Damages
7A+ in an 6-hour
time-wei!hted period.
(espirator:n areas that presenta %imited &reatha&%eenvironment or the
possi&i%it of ano4!en-deficientenvironment or aircontamination'
$%P& OF
P!O$C$IO"
Cotton/%eather !%oves;!aunt%ets; heat-resistant !%oves;&arrier creams; chainmai% !%oves; ha%-!%oves; ru&&er !%oves'
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(eview is an important aspect of an ris$ mana!ement process' :t isessentia% to review what has &een done to ensure that the contro%s put inp%ace are effective and that the have not introduced new ha"ards'
Eample
+n a!ricu%tura% machine was found to &e ha"ardous and a !uard wassu&se1uent% fitted round the movin! parts' This !uard e4c%udedpersons from the dan!er area; however# due to the nature of theenvironment it was found that chaff &ui%t up &ehind the !uard' :f a reviewhad not &een carried out of the new !uard after it had &een in service fora short whi%e# the chaff in con7unction with the movin! parts ma havecaused a fire'
The %esson to &e %earnt here is that however the initia% ris$ mana!ementprocess was done# there is a%was the possi&i%it that somethin! wi%% &eover%oo$ed and not addressed in the initia% sta!es' The review sstema%%ows further modifications to &e carried out'
3'6 Conc%usion
,a"ard identification# ris$ assessment# contro% and review are not a tas$
that is comp%eted and then for!otten a&out' ,a"ard identification shou%d&e proper% documented even in the simp%est of situations' amp%e wor$sheets to assist in this process are ver usefu%' (is$ assessment shou%dinc%ude a carefu% assessment of &oth %i$e%ihood and conse1uence'Contro% measures shou%d conform to the recommendations of thehierarch of contro%' The ris$ mana!ement process is an on !oin!activit which shou%d inc%ude re!u%ar reviews of a%% aspects ofor!ani"ations activities inc%udin! the purchase of new p%ant andconsuma&%es# safet e4istin! p%ant# sstems of wor$ inc%udin!administrative initiatives such as evacuation# fire and vio%ence in thewor$p%ace strate!ies'
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'hapter ? )ethods of S"stem .nal"sis
'* :ntroduction
+s %on! as we identified the Dan!er
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the method of ?u"" ets for the ana%sis of sstems which resem&%es
to sma%% e4tents the method of )onte Car%o simu%ation# &ut &ased on
another mathematica% &ase and not &ased on statistica% data'
Each of the method has more or %ess fre1uent app%ication in some fie%dsof the ecurit of functions' :n order to satisf the needs of an sstem#
one method or more shou%d &e used to reach out for a comp%ete ris$
ana%sis stud'
'2 )ar$ov Chains
The fundamenta% characteristic of a )ar$ov chain is that the sstem ofinterest is conditiona% on% on its current situation' ince pure static
sstems rare% e4ist# the )ar$ov chains are used to present dnamic
sstems o&servin! its stochastic states# ?i!ure 3'
Time
3tate
+igure : 'tochastic #rocesses
The )ar$ov chains is &ased on the !raphica% representation of the
studied process# so in order to e4p%ain the different steps of the stud#
we wi%% consider a sstem of two para%%e% components# ?i!ure 36'
3-
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C*
C2
+igure 3: #arallel system of t
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?ina%%# the state E is transferred to E3 throu!h reparation C2 that
is the priorit of reparation'
Each of these transformations %isted a&ove is ca%%ed transition# which is
represented !raphica%% with an arrow from the state of departure to thestate of arrivin!# ?i!ure 39' ?or each transition of the state Eito the state
E7# we wi%% associate it with an inde4 of transition i7# which is defined as
the pro&a&i%it of the transition from state Eito state E7durin! the period
&etween t and t[\t# assumin! that we are now at time t'
P*
#5
#7#5
#7P2
P*
P2
E* E
E2
+igure 4: Graphical #resentation of the 'ystem
?or an process# it doesnQt e4ist in a simp%e e1uation to estimate the
transformation and on% the simu%ation throu!h )onte Car%o techni1ues
is feasi&%e' +%so# &ecause the process is )ar$ovian# a%% the inde4es of
transition are constants and the ana%tica% treatment is re%ative% simp%e'
The constanc of the inde4 of transition app%ies to a%% the phenomena#which have an e4ponentia% nature'
The )ar$ovian processes proceed in a certain manner that needs nomemorA the pro&a&i%it of the transformation of Eito E7# doesnQt depend
on time &ut on% on the presence of the state Ei' This propert is
fundamenta% for the )ar$ovian processes'
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.n% in the case of ver sma%% !raphs# the uti%i"ation of specific software
is avai%a&%e for the eva%uation and the ana%sis of the )ar$ovian state
and the re%ia&i%it of the sstem'
'3 PET(: etwor$
The Petri etwor$s are !raphica% oriented# which ma$es the core of a
hi!h% advanced mathematics' The etwor$ is constructed of P%aces#
Transitions and +rcs# ?i!ure 0' P%aces are represented !raphica%% with
circ%es; the p%aces cou%d &e mar$ed & one or more sma%% coins'
Transitions are represented !raphica%% with ri!ht se!ments# so the
transitions have two possi&%e states
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have at %east one coin in each of its amount p%aces' Therefore# it mi!ht
&e drew# and this drew consists of drawin! a coin in each of its amount
p%aces and puttin! one in its avai% p%aces' The resu%t wi%% &e a new
mar$in! of the networ$ that represents a new state of the sstem'
+ccordin! to their ori!in# the Petri networ$s fo%%ow se1uentia%% the
different states of the sstem under consideration# and so we can have
the fo%%owin! resu%ts of such ana%sisA
Detai%ed ana%sis of the &ehavior of the sstem'
:dentification of the states from a !raphica% point of view'
:dentifin! the non-accessi&%e states'
:dentifin! the &%oc$in!# causes of de%a# etc'
:dentifin! the conf%icts &etween different states'
The uti%i"ation of the Petri networ$s for the identification of different
states of the sstem in order to !enerate the e1uiva%ent )ar$ov
processes is one of the ver common methods of sstem ana%sis in the
fie%d of ecurit of ?unction'
' imu%ation#
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statistica% errors# it is impossi&%e to reach optimum with a simu%ation of
)onte Car%o# &ut it shou%d &e at %east e4pected to &e c%ose to optima% if
the simu%ated e4periment is &ui%t proper%'
:f the &ehavior of an e%ement cannot &e predicted e4act%# !iven the state
of the sstem# it is &etter to ta$e random o&servations from the
pro&a&i%it distri&ution functions invo%ved than to use avera!es to
simu%ate this performance' To choose a pro&a&i%it distri&ution function
that represents the data# it is rather recommended to use a pro&a&i%it
distri&ution function that &est fits the mode% rather than usin! histo!rams
of the data co%%ected in the past' This is usua%% prefera&%e &ecause it
wou%d seem to come c%oser to the prediction of future &ehavior of thedata rather than reproducin! a certain &ehavior over a certain period in
the past'
'5 ?au%t Trees
The method of ?au%t Trees for the sstem ana%sis is the method hi!h%
recommended in static -or semi static- sstems' The method is a%so!rouped under the name of the defau%ts tree or the causeQs tree' The
causes-tree is the tree more and more correct% app%ied in terms of
mathematics and correspond more to the dia!ram of causes-
conse1uences'
This method is a deductive method# which means that it starts with an
effect and tries to find its causes# or its e%ements# and this mi!ht &e# the
reason for its hi!h popu%arit'
'5'* The construction of the tree'
The &e!innin! of the construction is & indicatin! the error that cou%d
happen; this error wi%% &e the head of the tree' :t is worth mentionin! that
the choice of the error depends %ar!e% on the ana%sis of the sstem and
the stud of its components'
The construction of the tree cou%d &e thou!ht of as a tas$ consistin! ofdifferent stepsA
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a' Decomposition of stem; the decomposition is the phsica%
ana%sis of the sstem' +%thou!h the used criterion varies from one
sstem to another# the used criteria cou%d &e one of the fo%%owin!A
Techno%o!ica% Criteria# for e4amp%e an automatic a%arm is
insta%%ed in the sstem
)aintenance Criteria# for e4amp%e a part of the sstem is
rep%aced sstematica%%'
&' :dentifications of Components; :t is necessar to identif each
component of the sstem# its operation and its modes of fai%ure'
c' (econstitution of the sstem with its components; which means
the composition of the sstem in !ood function with the defined
components'd' Phases; the so-ca%%ed phases are the modes of operation of the
sstem# for e4amp%e# for a p%ane; the modes of operation are
Ta$in!-off# ?%in!# and andin!'
e' >oundar Conditions; stem@s &oundaries have to &e we%%
defined in re%ation with its surroundin! environment'
f' ,pothesis; what $ind of hpothesis is app%ied on the sstem and
its operations'
!' :nitia% Conditions; with the mentioned hpothesis# it is the state inwhich we wi%% start to stud the sstem'
h' Definition of Hndesired Error
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consists of *0 activities# +ct'* ''' act'*0# the activities re%ationships are
i%%ustrated accordin! to %o!ica% re%ations &etween each node and the
other' Directions of arrows indicate the %o!ica% path of f%ow &etween
nodes whi%e the re%ative %en!th of arrows has no actua% imp%ications on
the period of each activit'
7
5
1
?
4
C
K
A
3
72
+igure -1: Aet rand )ma< time0 min time,
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*00 samp%es for each activit are done
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5-9 6 W W W 30L
-6 2 0L
-6 0 2 0L
-*0 3 5 0L
6-*0 2 W W W W W W W 0L
9-*0 0 3 W W W 30L
''2 (esu%ts
+ccordin! to the critica% inde4es %isted in Ta&%e *# we can identif
two pro&a&%e critica% Paths#
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'hapter 48 ,he #rocess of Fire Ris()anagement
The process of ris$ mana!ement invo%ves the four steps shown in thefo%%owin! dia!ram# ?i!ure 3 the four steps are underta$en in a cc%eunti% an accepta&%e %eve% of ris$ is achieved'
+igure -: 9a;ard identification
+n industria% fire or e4p%osion can &e defined as a characteristic of asstem p%ant or process that represents a potentia% for unp%anned event%eadin! to undesira&%e %oss conse1uences' The $ewords in thisdefinition are undesira&%e conse1uences Shazard identificati#nS is theprocess of reco!ni"in! ha"ards that can pose si!nificant undesira&%e %oss conse1uences' ,a"ard identification shou%d &e a continuous activitin the eva%uation of new materia%s# p%ant additions# and productionmodifications'
5'* )ethodo%o! of ,a"ard :dentification
!isk Control
Ha,ard
Identification
!isk
Assessment
*onitoring
!e-iew
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*' En!ineerin! chec$%ist'2' ,a"ard indices'3' ,a"ard and opera&i%it stud ,a"op'' Pre%iminar ha"ard ana%sis P,+'
5' ?ai%ure mode and effect ana%sis ?E)+'' ?au%t tree ana%sis ?T+'' Event tree ana%sis ET+'6' Cause conse1uence ana%sis'9' (e%ia&i%it ana%sis'
5'2 ?ire (is$ +ssessment
5'2'* The primar steps in fire ris$ assessment inc%udeA
:dentifin! the event se1uence that cou%d %ead to si!nificant %oss'
Guantification of the fire ris$ ut due to comp%e4itand arit of heav industries va%id and app%ica&%e data are scare'
5: Su*+ective estimation8+vai%a&%e %oss trendin! information
E1uipment fai%ure'
,uman error'
:!nition source'
oss contro% e%ements'
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Dama!e a&i%it factor'
The phsica% intensit of fire-e4p%osion %oss scenarios are 1uantified interms of the e4pected ener! re%eased'
a' ,eat e4posures'&' mo$e and /or corrosive !as contaminationc' E4p%osion &%ast over pressure etc'd' +rea invo%vede' Duration'
Direct %oss of fire eventa' Dama!e to &ui%din!&' Dama!e to e1uipment'
c' Dama!e to products'd' Etc'
Direct %oss of fire eventa' >usiness interoperations'&' ia&i%it for in7ur or death'c' Environmenta% contamination'd' Dama!e to compan ima!e'e' Etc'
5'2'2 Tpe of ris$ assessment
Depends on8a- Comp%e4it of the operation'&- Time and cost %imitation'
(outine code comp%iance can &e conducted & usin! simp%e
chec$%ist'
ew techno%o!ies or hi!h ha"ard operations re1uire app%ication ofmore detai%ed ris$ assessment and decision ana%sis methods'
5'2'3 (is$ mana!ement
R) means8*' Esta&%ishin! accepta&%e %eve% of ris$'
2' )ethod of hand%in! identified ris$s'
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Ris( decision L ma(ing process *ased on
*' Profit
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+n effective fire protection pro!ram must inc%ude a%% ma7or en!ineerin!discip%ines as we%% as ris$ mana!ement# safet# securit production#maintenance'
'hapter C8 Summar" of Ris( .ssessmentSteps in @or(place
TEP *A oo$ for the ha"ards
TEP 2A Decide who mi!ht &e harmed and how
TEP 3A Eva%uate the ris$s and decide whether the e4istin! precautionsare ade1uate or whether more shou%d &e done
TEP A (ecord our findin!s
TEP 5A (eview our assessment and revise it if necessar
Don@t &e overcomp%icated' :n most firms in the commercia%# service and%i!ht industria% sectors# the ha"ards are few and simp%e' Chec$in! themis common sense# &ut necessar' You pro&a&% a%read $now whether#for e4amp%e# ou have machiner that cou%d cause harm# or if there is anaw$ward entrance or stair where someone cou%d &e hurt' :f so# chec$that ou have ta$en what reasona&%e precautions ou can to avoidin7ur' :f ou are a sma%% firm and ou are confident ou understandwhat@s invo%ved# ou can do the assessment ourse%f
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from %adders# etc= ris$ is the chance# hi!h or %ow# that some&od wi%% &eharmed & the ha"ard'
'* tep *A oo$ for the ,a"ards
:f ou are doin! the assessment ourse%f# wa%$ around our wor$p%aceand %oo$ afresh at what cou%d reasona&% &e e4pected to cause harm':!nore the trivia% and concentrate on si!nificant ha"ards# which cou%dresu%t in serious harm or affect severa% peop%e'
+s$ our emp%oees or their representatives what the thin$' The mahave noticed thin!s# which are not immediate% o&vious' )anufacturers@instructions or data sheets can a%so he%p ou spot ha"ards and put ris$sin their true perspective' o can accident and i%%-hea%th records'
'2 tep 2A Decide ho )i!ht >e ,armed# and ,ow
Don@t for!etA
Youn! wor$ers# trainees# new and e4pectant mothers# etc who
ma &e at particu%ar ris$
C%eaners# visitors# contractors# maintenance wor$ers# etc who ma
not &e in the wor$p%ace a%% the time
)em&ers of the pu&%ic# or peop%e ou share our wor$p%ace with# if
there is a chance the cou%d &e hurt & our activities'
'3 tep 3A Eva%uate The (is$s +nd Decide hetherE4istin! Precautions +re +de1uate or )ore hou%d >e
Done'
Consider how %i$e% it is that each ha"ard cou%d cause harm' This wi%%determine whether or not ou need to do more to reduce the ris$' Evenafter a%% precautions have &een ta$en# some ris$ usua%% remains' hatou have to decide for each si!nificant ha"ard is whether this remainin!ris$ is hi!h# medium or %ow'
?irst# as$ ourse%f whether ou have done a%% the thin!s that the %aw sasou have !ot to do' ?or e4amp%e# there are %e!a% re1uirements on
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ooner or %ater ou wi%% &rin! in new machines# su&stances andprocedures that cou%d %ead to new ha"ards' :f there is an si!nificantchan!e# add to the assessment to ta$e account of the new ha"ard' Don@tamend our assessment for ever trivia% chan!e# or sti%% more# for each
new 7o &ut if a new 7o& introduces si!nificant new ha"ards of its own#ou wi%% want to consider them in their own ri!ht and do whatever ouneed to $eep the ris$s down' :n an case# it is !ood practice to reviewour assessment from time to time to ma$e sure that the precautions aresti%% wor$in! effective%'
.cron"ms
+C.P B +pproved Codes of Practice
+(+(s B +pp%ica&%e or (e%evant and +ppropriate (e1uirements
>,,(+ B >ase%ine ,uman ,ea%th (is$ +ssessment
>,,(+ B >ase%ine ,uman ,ea%th (is$ +ssessment
CE(C+ B Comprehensive Environmenta% (esponse# Compensation#
and ia&i%it +ct
CE(C+ B Comprehensive Environmenta% (esponse# Compensation#
and ia&i%it +ct
C)T B Corrosion )ana!ement Techno%o!
C.C B Chemica% of Concern
C.PC B Chemica% of Potentia% Concern
C.PC B Chemica% of Potentia% Concern
C.,, B Contro% of u&stances ,a"ardous to ,ea%th (e!u%ations
C(E B Center for (is$ E4ce%%ence
C(.ET B Communit (euse .r!ani"ation of East Tennessee
DKD B Decontamination and Decommissionin!
D.E H'' B Department of Ener!
DE+( B Dan!erous u&stances E4p%osive +tmosphere (e!u%ation
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EE/C+ B En!ineerin! Eva%uation/Cost +na%sis
EC( B E4cess ifetime Cancer (is$
E) B Environmenta% )ana!ement
EP+ H'' B Environmenta% Protection +!enc
EK, B Environmenta% afet and ,ea%th
ETTP B East Tennessee Techno%o! Par$
EH B End Hse or$in! roup
??+ B ?edera% ?aci%ities +!reement
,++ B ,a"ard +na%sis
,+.P B ,a"ard .pera&i%it
,E+T B ,ea%th Effects +ssessment ummar Ta&%e
,: B ,a"ard :nde4
,KE B ,ea%th# afet and Environment
:+) B :nte!rated +sset )ana!ement stem
:(: B :nte!rated (is$ :nformation stem
)E B oc$heed )artin Ener! stems# :nc')K: B )ana!ement and :nte!ration
),. B )anua% ,and%in! .perations
P B ationa% Priorities ist
.P B .peration stem Performance
PPE B Persona% Protective E1uipment at or$
P( B Pre%iminar (emediation oa%(+> B (is$ +dvisor >oard
(+ B (is$ +ssessment uidance for uperfund
(+: B (is$ +ssessment :nformation stem
(+T B (is$ +ssessment Technica% ead
(C(+ B (esource Conservation and (ecover +ct
(?: (C(+ B ?aci%it :nvesti!ation
(. B (emedia% oa% .ption
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(:/? B (emedia% :nvesti!ation/?easi&i%it tud
()+ B (is$ )ana!ement +na%sis
(.D B (ecord of Decision
.P B tandard .peratin! Procedure
TDEC B Tennessee Department of Environment and Conservation
TG) B Tota% Gua%it )ana!ement
9
.ppendices
+ppendi4 *A ome :mportant Pieces of ,ea%th andafet e!is%ation
+'*'* >esides the ,ea%th and afet at or$ +ct itse%f# thefo%%owin! app% across the fu%% ran!e of wor$p%acesA
*' )ana!ement of ,ea%th and afet at or$ (e!u%ations *999Are1uire emp%oers to carr out ris$ assessments# ma$e
arran!ements to imp%ement necessar measures# appointcompetent peop%e and arran!e for appropriate information andtrainin!'
2' or$p%ace
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' )anua% ,and%in! .perations (e!u%ations *992A cover the movin!of o&7ects & hand or &odi% force'
' ,ea%th and afet
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*' as afet
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%lossar" of Ris( ,erms
(is$ )ana!ement oca&u%arGuidelines for Use in Standards
(adapted form IEC, International Electrochemical Commission)
Introduction
+%% tpes of underta$in! are faced with situations
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- source identification- ris$ estimation- ris$ eva%uation
d= Terms re%ated to ris$ treatment and contro%
- ris$ treatment- ris$ contro%- ris$ optimi"ation- ris$ reduction- miti!ation- ris$ avoidance- ris$ transfer- ris$ financin!- ris$ retention- ris$ acceptance
This uide provides standards writers with !eneric definitions of ris$ mana!ement terms' :tis intended as a top-%eve% !eneric document in the preparation or revision of standards thatinc%ude aspects of ris$ mana!ement' The aim is to promote a coherent approach to thedescription of ris$ mana!ement activities and the use of ris$ mana!ement termino%o!' :tspurpose is to contri&ute towards mutua% understandin! ris$ mana!ement practice'
6vervie= of ris( management terms and definitions
The re%ationships &etween the terms and definitions for ris$ mana!ement are shown in?i!ures * to 3'
(is$ mana!ement is part of the &roader mana!ement processes of or!ani"ations' (is$mana!ement depends on the conte4t in which it is used' The words used in each conte4tma var'
here ris$-mana!ement-re%ated terms are used in a standard# it is imperative that theirintended meanin!s within the conte4t of the standard are not misinterpreted ormisunderstood' +ccordin!%# this uide provides definitions for the various meanin!s thateach term is %i$e% to have without !ivin! definitions that ma contradict each other':ncreasin!%# or!ani"ations uti%i"e ris$ mana!ement processes in order to optimi"e themana!ement of potentia% opportunities' This differs from the ris$ assessment process#where ris$ is ta$en as producin! on% ne!ative conse1uences' ,owever# since the &usinesscommunit increasin!% adopts the &roader approach to ris$# this uide see$s to address
&oth situations'
The definitions in this uide are &roader in concept than those in !iven in +nne4 +'
,erms and Definitions
1-7 Basic terms
3.1.1
riskcom&ination of the pro*a*ilit"
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1-5 ,erms related to people or organi9ations affected *" ris(
stakeholderan individua%# !roup or or!ani"ation that ma affect# &e affected or perceive itse%f to &e affected a ris(
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.TE (is$ estimation can consider cost# &enefits# the concerns of sta(eholders# and other varia&%es# asappropriate for ris( evaluation'
3.3.6
risk evaluationprocess of comparin! the estimated ris(
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risk inancingprovision of funds to meet the cost of imp%ementin! ris( treatment
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>
C
The terms > and C are used in the definition of the term + or the notes to definition +'
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.nne .
,erms and definitions .pplied to safet":related ris( management-
$.1. saety freedom from unaccepta&%e ris$$.2. risk com&ination of the pro&a&i%it of occurrence of harm and the severit of that harm$.3. harm phsica% in7ur or dama!e to the hea%th of peop%e# or dama!e to propert or the
environment
$.4. harmul event occurrence in which a ha"ardous situation resu%ts in harm$.5. ha!ard potentia% source of harm' .TE The term ha"ard can &e 1ua%ified in order to define its
ori!in or the nature of the e4pected harm
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]^ :EC 0050
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References
!eferences
"isk General
1. 9' ?144@, 'uccessful 9ealth and 'afety (anagement, 9'?G@/, 2nd
dition, 9' 5ooks 9armsK Glendon & (c=enna + ?144@, 9uman
'afety and "isk (anagement, )hapman & 9all.
2. 5ird + & Germain G ?143@, #ractical oss )ontrol eadership,
nternational oss )ontrol nstitute, nstitute #ublishing, oganville,
Georgia.
. 9armsK"ingdahl, . ?144@, 'afety nalysis O #rincipals & #ractices in
0ccupational 'afety, lsevier-. 9oyos, ).G & Bimolong, 5 ?1433@, 0ccupational 'afety & ccident
#revention, lsevier
. 9' ?144@, The )ost of ccidents at Cork, 9'?G@4/, 2nd dition, 9'
5ooks.
/. "ingdahl, . ?144@, 'afety nalysis O #rincipals & #ractices in
0ccupational 'afety, lsevier
. 9oyos, ).G & Bimolong, 5 ?1433@, 0ccupational 'afety & ccident
#revention, lsevier
3. 9' ?1444@ The )osts to 5ritain of Corkplace ccidents and Cork"elated ll 9ealth in 144F4/, 9' 5ooks.
4. 5aker G ?2666@ 9ard Targets, #aper presented to the Puarries Aational
>oint dvisory )ommittee, (arch.
16.'cott ?144@, =illing 0ff rrors, (ine & Puarry, (ay.
11.')A 9uman +actors 'tudy Group ?144@: rd "eportK 0rganising for
'afety, 9' 5ooks.
12."idley >, )hanning > ?ed@ ?1444@ 'afety t Cork, th dition,
5utter
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.lpha*etical inde
C
consequence 3'*'2
Eevent 3'*'
:interested part" 3'2'2
)mitigation 3''5
Ppro*a*ilit" 3'*'3
(residual ris( 3''**ris( 3'*'*ris( acceptance 3''*0ris( anal"sis 3'3'2ris( assessment 3'3'*ris( avoidance 3''ris( communication 3'2'ris( control 3''2ris( criteria 3'*'ris( estimation 3'3'5ris( evaluation 3'3'ris( financing 3''6ris( identification 3'3'3ris( management 3'*'ris( management s"stem 3'*'6ris( optimi9ation 3''3ris( perception 3'2'3ris( reduction 3''ris( retention 3''9ris( transfer 3''ris( treatment 3''*